SEC Form 4/A · accession 0001493152-15-005563
Eco-Stim Energy Solutions, Inc. · ESES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Carlos A Fernandez
Officer — Executive Vice President · Director
Period of report
Jan 11, 2015
Accepted (ET)
Nov 16, 2015 · 4:30 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001135657
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F3 | Jan 11, 2015 | M | 18,750 | — | A | 128,743 | D | |
| Common StockF2,F3 | Jul 13, 2015 | M | 18,750 | — | A | 147,493 | D | |
| Common StockF2,F3 | Jul 13, 2015 | M | 10,000 | — | A | 157,493 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted StockF1,F3,F4 | — | Jan 11, 2015 | M | 18,750 | D | — | Jul 11, 2024 | Common Stock | 18,750 | 56,250 | D |
Explanation of responses
- F1This line item is added to report a delinquent transaction for the vesting of 18,750 shares of restricted stock on 01/11/2015 that was not reported due to an administrative oversight.
- F2The line item in Table I of the original filing is amended and restated herein as two separate line items in order to more accurately describe the restricted stocks held by the reporting person.
- F3Restricted stock converts into Common Stock on a one-for-one basis.
- F4This restricted stock award was granted on July 11, 2014 and vests as to 18,750 shares on each of January 11, 2015, July 11, 2015, January 11, 2016 and July 11, 2016.
- F5This restricted stock award was granted on July 11, 2014 and vests as to 10,000 shares on each of July 11, 2015, July 11, 2016, July 11, 2017, and July 11, 2018.